Regulatory analysis and support

Helping you stay on top of rule changes and thematic reviews, we can deliver training, presentations and practical guidance to enable proactive steps to be taken to manage change.

Consumer Duty

With a sharpened regulatory focus on client outcomes, we can support the design and review of fair value assessments, customer journeys, communications frameworks, vulnerability processes and data/MI, to enable you to evidence those outcomes effectively.

Ad-hoc support or guidance

Sometimes, unusual or complex client circumstances or questions require some thought. Our support can be that sounding board or reassurance you need to ensure you take the right steps towards servicing your client needs, aligned with good practice and the requirements of the regulator.

Documentation review and design

Whether this is client-facing or internal policy and procedure documentation, we can review and help design effective documentation so they work in practice — smoothing regulatory visits, acquisition processes or improving client outcomes.

Assurance

Although not our primary support, you may simply want clear assurance that a process is designed effectively and/or working effectively. We can deliver ad-hoc reviews or the design of risk-based assurance programmes, templates, and reporting frameworks.

Financial Advice

Investment Management

Fund Management

Private Banking